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Filing Details

Accession Number:: 0001181431-13-056587
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-04 20:13:41
Reporting Period:: 2013-10-31

Filing Date:: 2013-11-04
Accepted Time:: 2013-11-04 20:13:41
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1543643	Cu Bancorp	CUNB	National Commercial Banks (6021)	900779788

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1212406	J Robert Dennen	C/O Cu Bancorp 15821 Ventura Blvd. Suite 100 Encino CA 91436	Svp, Chief Accounting Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-10-31	821	$10.00	7,779	No	4	M	Direct
Common Stock	Disposition	2013-10-31	821	$18.81	6,958	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Options to Purchase Common Stock	Disposition	2013-10-31	821	$0.00	39,063	$10.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
38,242	2006-05-17	2015-05-16	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	41,212	Indirect	IRA
Common Stock	6,000	Indirect	529 Plan
Common Stock	5,000	Indirect	As Trustee of the Robert Dennen and & Randi M. Family Trust
Common Stock	2,500	Indirect	As Executor of the Macel Dennen Estate
Common Stock	1,000	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Options to Purchase Common Stock	$22.00	2007-04-26	2016-04-25	5,000	5,000	Direct
Common Stock	Options to Purchase Common Stock	$7.80	2010-01-27	2015-01-27	5,000	5,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2016-04-25	5,000	5,000	Direct
2015-01-27	5,000	5,000	Direct

Footnotes

Includes shares of restricted stock subject to a vesting schedule set forth in the restricted stock grant and subject to forfeiture upon the occurrence of certain events specified in the restricted stock grant.
The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 13, 2013.
Represents the aggregate of sales effected on the same day at different prices.
Represents the weighted average sales price per share. The shares were sold at prices ranging from $18.70 to $19.01 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission.
These shares are held by Mitchell Dennen. Mitchell Dennen is an adult son of the reporting person.
39,063 stock options were granted to the Reporting Person on May 17, 2005. The options vested in four equal annual installments on each of May 17, 2006, 2007, 2008 and 2009, and as of the filing date are fully vested and exercisable. As of the date of this report, a total of 821 stock options were exercised by the Reporting Person.
Stock options were granted to the reporting person on April 26, 2006. The options vested in four equal annual installments on each of April 26, 2007, 2008, 2009 and 2010, and as of the filing date are fully vested and exercisable.
Stock options were granted to the reporting person on January 27, 2009. The options vested in four equal annual installments on each of January 27, 2010, 2011, 2012 and 2013 and as of the filing date are fully vested and exercisable.